AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Audit Report

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2 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Applicant Details Applicant Name Serve It Up Training Pty Ltd TOID Address Ground level, 333 Flinders Lane, Melbourne Vic 3000 Registration Contact Miss Amy Hickman Website Phone Number amy@serveitup.com.au Audit Team Audit Firm ShineWing Australia Auditor/s John Molenaar Auditor/s Registering Body Details Contact Person Simon Thorn Other Attendees Phone Number vet.audit@edumail.vic.gov.au Audit Details Type of Audit Re-registration Audit Conditions Audited 1, 3, 6, 7, 8, 9 Standards Audited 1.1, 1.2, 1.3, 1.4, , 2.2, 2.3, 2.4, 2.5, 2.6, , 3.2, 3.3, VRQA Guidelines Audited Audit Date/s 29 August 2016 RTO Background , 2.2, 2.3, 2.4, 2.5, 2.6, 2.7, 2.8 (If applicable) 3.1, 3.2, 3.3, 3.4, , 4.2, 4.3, 4.4, 4.5, 4.6 Serve It Up Training Pty Ltd is a small training company focused on improving the efficiency, productivity and profitability of hospitality and retail businesses by training to develop skills in a hospitality environment. The RTO has written its own training and assessment materials, to support holistic training of skills and knowledge. Facilities at 62 Little Latrobe Street include a fully equipped bar, restaurant room and two classrooms, providing simulated experiences. The RTO is open for two shifts per week for students to complete simulated shifts to practice their skills before they head to the workplace. Facilities at Word Bar (13 Goldie Place, Melbourne) are also used for practical training. Most students enrol in a dual qualification Certificate IV in Hospitality/Certificate IV in Leadership and Management. The clients enrolled include fulltime employed trainees, casually employed staff and new entrants to the industry. The average student would be 22 years old, looking for part-time or fulltime work and hoping to progress to a management role in the industry. Clients include university students who are looking to achieve skills for part time employment in the hospitality industry. Most learners are eligible for government funded training and about 10% are full fee paying students. Page 1 of 46

3 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Clients become aware of the training through word of mouth or through a marketing broker Taught Recruitment. Clients responding to job advertisements are also informed of the training available. Serve It Up Training has entered into a partnership agreement with Taught Recruitment for referring potential students to the RTO. The training durations for the qualifications at Serve It Up Training are of a relatively short duration, however, the review of training and assessment arrangements, practical experience and student interviews confirmed that students were provided with adequate opportunities to develop the knowledge and skills required of the units of competency. All students enrolled in the dual hospitality and leadership qualification are required to complete 36 food service periods in a realistic work environment prior to being assessed as competent for practical skills. This experience is achieved through part time employment or at the RTOs food and beverage area. Page 2 of 46

4 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Qualifications/Units Audited 1 TGA Code BSB40812 BSB42015 SIT40313 QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE Qualification/Unit of Competence/Accredited Course (as per TGA) Certificate IV in Frontline Management Certificate IV Leadership and Management Certificate IV in Hospitality Delivery Site 62 Little La Trobe Street, Melbourne Vic Little La Trobe Street, Melbourne Vic Little La Trobe Street, Melbourne Vic 3000 Interviewee(s) Staff name and position; employer name and position Stephanie Muscat Class of six students Coordinator Trainer/assessor: Certificate IV in Hospitality Certificate IV in Hospitality Permanent Delivery Sites Do the RTO s permanent delivery sites match the information provided by the VRQA? If No, please provided amended details below: Yes X No Third party Arrangements Yes No Do the RTO s third party arrangements match the information provided by the VRQA? X Serve It Up Training has entered into a partnership agreement for the marketing of training services and referral of students to Serve It Up Training courses. An agreement was reviewed at audit confirming the responsibilities of each party. Students interviewed confirmed that they had not been promised a job outcome Reporting of Brokerage Services Form identified: Taught Recruitment Whitaker Management Pty Ltd - no students to date. Completed Form F Notification of Third Party Arrangements: Paragon Advisors Pty Ltd (six students - not on register). Recruitment to prospective students signed 6/7/2016. Declaration by PEO 8/7/2016. Sighted Letters of Engagement Taught Recruitment for 15 letters to clients, Feb Mar Samples have been selected in accordance with the VRQA VET Audit Sampling Methodology Page 3 of 46

5 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Audit Summary - AQTF Conditions of Registration AQTF Conditions Non - 1 Governance X Not audited 2 Interactions with the Registering Body X 3 Compliance with Legislation X 4 Insurance X 5 Financial Management X 6 Certification & Issuing of Qualifications & Statements of Attainment 7 Recognition of Qualifications Issued by other RTOs X 8 Accuracy and Integrity of Marketing X 9 Transition to Training Packages/Expiry of Accredited Courses X X Page 4 of 46

6 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Audit Summary - AQTF Standards AQTF Standards/Elements Non - Standard Continuous Improvement Strategy X 1.2 Training and Assessment Strategies X 1.3 Training and Assessment Resources X 1.4 Trainer and Assessor Competency X 1.5 Assessment Strategies X Standard Meeting the Needs of Clients X 2.2 Continuous Improvement of Client Services X 2.3 Provision of Information to Clients X 2.4 Third-Party Engagement in Training and Assessment X 2.5 Provision of Support Services to Clients X 2.6 Learner Access to Records of Participation X 2.7 Complaints and Appeals Strategy X Standard Operations Management X 3.2 Continuous Improvement of Operations X 3.3 Third-Party Training and/ or Assessment Services X 3.4 Records Management X Summary of Non-Compliance 2 X X X Not audited SF Assessment did not meet the requirements of the relevant Training Package. For the unit: SITHFAB204 Prepare and serve espresso coffee Assessment was not conducted in accordance with the principles of assessment as it was not based on evidence that demonstrated that a learner could demonstrate the skills and knowledge of the competent making of nine different coffee types on multiple occasions and judgement of competence was not based on evidence of learner performance aligned to the unit of competence and associated assessment requirement competent making of nine different types of coffee. Assessment was not conducted in accordance with the rules of evidence as the assessor did not provide records to confirm that the quality and quantity and relevance of assessment enabled a judgement to be made of the learners competence in making nine different types of coffee on multiple occasions. For the unit: 2 SF = Standard Finding. Finding references are aligned to the Detailed Findings section of this report. Page 5 of 46

7 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - SITXHRM402 Lead and manage people Assessment was not conducted in accordance with the principles of assessment as the assessment was not based on evidence that demonstrated that a learner could demonstrate the skills and knowledge to: - lead by example and build positive team culture through effective leadership - monitor individual and team performance over a period of time and motivate individuals and teams to achieve optimum performance - judgement of competence was not based on evidence of learner performance aligned to the unit of competence and associated assessment of the candidate leading by example and building positive team culture through effective leadership and monitoring individual and team performance over a period of time and motivating individuals and teams to achieve optimum performance. Assessment was not conducted in accordance with the rules of evidence as the assessor did not provide records to confirm that the quality and quantity and relevance of assessment enabled a judgement to be made of the learners competence in leading by example and building positive team culture through effective leadership and monitoring individual and team performance over a period of time and motivating individuals and teams to achieve optimum performance. Page 6 of 46

8 AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Audit Summary 2016 VRQA Guidelines for VET Providers 2016 VRQA Guidelines Non - 1. Governance, Financial viability and Management systems X 1.1 Strategic Plan and Business Plan X 1.2 Financial Viability X 1.3 Management Systems X 1.4 Governance X 2. Transparency and oversight of third parties X 2.1 Third party agreement X 2.2 Co-operation with VRQA X 2.3 Notifying VRQA of Third party agreements X 2.4 Information - Disclosure of third party services X 2.5 Pre-enrolment materials - Disclosure of third party services X 2.6 Changes to third party services X 2.7 Complaints - Third party services X 2.8 Appeals - Third party services X 3. Trainer and assessor qualification (including individuals working under the supervision of a trainer 3.1 Vocational & Industry skill requirements X 3.2 Training and Assessment (TAE) skill requirements X 3.3 Assessment only skill requirements X 3.4 Supervision arrangement requirements X 3.5 Trainer under supervision skill requirements X 4. Delivery of training and assessment services X 4.1 Training and assessment practices X 4.2 Amount of training X 4.3 TAE - Independent validation of assessment system, tools, processes and outcomes 4.4 TAE Trainer and Assessor skills (1 January 2016 to 31 December 2016) 4.5 TAE Trainer and Assessor skills (1 January 2017 onwards) X 4.6 TAE Trainer under supervision requirements X 4.7 TAE Registration requirements X 5. Annual Declaration of Compliance X 5.1 Annual Declaration of Compliance X X Not audited X X Page 7 of 46

9 Detailed Findings - AQTF Conditions of Registration CONDITION 1 - Governance The Director had ensured that the RTO complied with the AQTF Essential Conditions and Standards for Continuing Registration and national guidelines. Organisation Chart Register of Trainers Completed Fit and Proper Person Declarations Page 8 of 46

10 CONDITION 3 - Compliance with Legislation Serve It Up Training demonstrated knowledge of and compliance with Commonwealth, State or Territory legislation and regulatory requirements that are relevant to its operations and its scope of registration. It ensures that its staff and clients are fully informed of these requirements that affect their duties or participation in vocational education and training. Student Handbook Staff and Employees Handbook Policy and Procedures Compliance with legislative and regulatory requirements Page 9 of 46

11 CONDITION 6 - Certification & Issuing of Qualifications & Statements of Attainment Serve It Up Training had issued testamurs in accordance with the requirements of the Training Package that met the Australian Qualifications Framework (AQF) TGA. The testamurs included the Nationally Recognised Training (NRT) logo in accordance with the current conditions of service. Issuing Qualifications Policy and Procedures. Records Management Procedures Samples of Issued Certificates and Statements of Attainment The RTO had confirmed that it would retain client records of attainment of units of competency and qualifications for a period of 30 years. Records Management Policy and Procedures Examples VETtrak Data Management System entries Serve It Up Training had a student records management system in place that had the capacity to provide the registering body with AVETMISS compliant data. Samples in VETtrak Data Management System The RTO had provided a return of its client records of attainment of units of competency and qualifications to the VRQA for VETtrak Data Management System Page 10 of 46

12 Serve It Up Training had met the requirements for implementation of a national unique student identifier. Website USI requirements. Student Handbook Unique Student Identifier. USI fact sheet. Pre-training review checks. Improvement Opportunities C6.1.1 Serve It Up Training would benefit from including on the reverse of the Certificate, along with the unit code and title, the date of enrolment and result (C, CT, RPL) or provide the student with a separate Statement of Results that identifies each unit, date of enrolment and result. Page 11 of 46

13 CONDITION 7 - Recognition of Qualifications Issued by other RTOs The RTO had procedures in place for the recognition of AQF Qualifications and Statements of Attainment issued by any other RTOs. Students were informed in the Student Handbook 2016 and in course brochures. Policy and Procedures Manual Course brochures Student Handbook Traineeship Handbook Page 12 of 46

14 CONDITION 8 - Accuracy and Integrity of Marketing The RTO had ensured that its marketing and advertising of AQF qualifications to prospective clients was ethical, accurate and consistent with its scope of registration and had monitored the marketing activities if its broker Taught Recruitment. The NRT logo was employed in accordance with its conditions of use. Marketing materials for four course on scope Course brochures as on website. Broker induction and file checklist. Third Party Application Form. Marketing and recruitment standards. Third Party Induction PowerPoint. Contractor Agreement. Letter of Engagement. Improvement Opportunities C8.1.1 Serve It Up Training would benefit by including students referred through brokers on the Broker Register and ensure that the VRQA is informed of all brokers. Page 13 of 46

15 CONDITION 9 - Transition to Training Packages/Expiry of Accredited Courses The RTO had provisions in place for the management of the transition from superseded Training Packages within 12 months of their publication on the TGA. Policy and Procedures 24 and 25 Transition to revised Training Packages. TGA record 29/3/2016 current. Page 14 of 46

16 Detailed Findings - AQTF Standards ELEMENT The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. Serve It Up Training collected, analysed and acted on relevant data for continuous improvement of training and assessment. Policy and Procedures 29 Continuous Improvement. Continuous Improvement Register 2016 Survey data summary Improvement Opportunities SI.1.1 Serve It Up Training would benefit by modifying its Continuous Improvement Register to identify the source, issue and specific action. Page 15 of 46

17 ELEMENT Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry. Strategies for training and assessment met the requirements of the relevant Training Package and were developed in consultation with industry. Learning and assessment strategies for: BSB40812 Certificate IV in Frontline Management BSBMGT401A Show leadership in the workplace BSBMGT404A Lead and facilitate off site staff BSB42015 Certificate IV Leadership and Management. Dual qualification with the qualification SIT40313 Certificate IV in Hospitality SITXHRM402 Lead and manage people BSBLDR402 Lead effective workplace relationships SIT40313 Certificate IV in Hospitality SITHFAB307 Provide table service of food and beverage SITHFAB204 Prepare and serve espresso coffee Improvement Opportunities SI.1.2 Duration of qualification delivery and assessment had been based on past experience with client groups and industry feedback. Serve It Up Training would benefit by including in the TAS the rationale for the amount of training for each course based on the following indicators: AQF Volume of Learning Page 16 of 46

18 Nominal hours Skills and experience of learners Employer feedback Support available to learners For the qualification BSB40812 Certificate IV in Frontline Management the TAS accurately identified the training product but the release date and version information was not provided. Serve It Up Training would benefit by including this information in the TAS. Page 17 of 46

19 ELEMENT Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package or accredited course and the RTO s own training and assessment strategies. Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package and qualifications and the RTO s own training and assessment strategies. Staff, facilities, equipment and training and assessment materials related to the following qualifications and sample of units: SIT40313 Certificate IV in Hospitality BSB42015 Certificate IV Leadership and Management Units: SITHFAB307 Provide table service of food and beverage SITHFAB204 Prepare and serve espresso coffee Units: SITXHRM402 Lead and manage people BSBLDR402 Lead effective workplace relationships BSB40812 Certificate IV in Frontline Management BSBMGT401A Show leadership in the workplace BSBMGT404A Lead and facilitate off site staff Page 18 of 46

20 ELEMENT Training and assessment is delivered by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors, and b) have the relevant vocational competencies at least to the level being delivered or assessed, and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken, and d) continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence. Training and assessment is delivered by trainers and assessors who have the necessary training and assessment competencies and have the relevant vocational competencies at least to the level being delivered or assessed, and can demonstrate current industry skills directly relevant to the training/assessment being undertaken, and continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence. Personnel files for the following trainers/assessors: BSB40812 Certificate IV in Frontline Management BSBMGT401A Show leadership in the workplace BSBMGT404A Lead and facilitate off site staff Trainers/assessors: BSB42015 Certificate IV Leadership and Management SITXHRM402 Lead and manage people BSBLDR402 Lead effective workplace relationships Trainers/assessors: Amy Hickman Stephanie Anania Sarah Arifovic Kate Smith Gem Doonan Stephanie Muscat Jackson Page 19 of 46

21 SIT40313 Certificate IV in Hospitality SITHFAB307 Provide table service of food and beverage SITHFAB204 Prepare and serve espresso coffee Trainers/assessors: Trainers/assessors: Amy Hickman Stephanie Anania Sarah Arifovic Kate Smith Gem Doonan Stephanie Muscat Jackson Page 20 of 46

22 ELEMENT Assessment including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or accredited course b) is conducted in accordance with the principles of assessment and the rules of evidence c) meets workplace and, where relevant, regulatory requirements d) is systematically validated. SF Non- Assessment did not meet the requirements of the relevant Training Package. For the unit: SITHFAB204 Prepare and serve espresso coffee Assessment was not conducted in accordance with the principles of assessment as it was not based on evidence that demonstrated that a learner could demonstrate the skills and knowledge of the competent making of nine different coffee types on multiple occasions and judgement of competence was not based on evidence of learner performance aligned to the unit of competence and associated assessment requirement competent making of nine different types of coffee. Assessment was not conducted in accordance with the rules of evidence as the assessor did not provide records to confirm that the quality and quantity and relevance of assessment enabled a judgement to be made of the learners PP 18 Assessment of competencies PP 29 Continuous Improvement PP 17 Recognition of Prior Learning and Credit Transfer Assessment arrangements and completed student assessments for the following qualifications and sample of units: BSB40812 Certificate IV in Frontline Management BSBMGT401A Show leadership in the workplace BSBMGT404A Lead and facilitate off site staff BSB42015 Certificate IV Leadership & Management SITXHRM402 Lead and manage people BSBLDR402 Lead effective workplace relationships SIT40313 Certificate IV in Hospitality SITHFAB307 Provide table service of food and beverage SITHFAB204 Prepare and serve espresso coffee Session For the unit: SITHFAB204 Prepare and serve espresso coffee Serve It Up Training is required to review and modify the assessment instruments, tasks and tools for the unit SITHFAB204 Prepare and serve espresso coffee to ensure that students demonstrate the competent making of nine different types of coffee, on multiple occasions, and maintain records of observation identifying the criteria observed. For the unit: SITXHRM402 Lead and manage people Serve It Up Training is required to review and modify the assessment instruments, tasks and tools for the unit SITXHRM402 Lead and manage people to ensure that students could demonstrate the skills and knowledge to: - lead by example and build positive team culture through effective leadership - monitor individual and team performance over a period of time and motivate individuals and teams to achieve optimum performance Page 21 of 46

23 competence in making nine different types of coffee on multiple occasions. - maintain records of observation identifying the criteria observed. For the unit: SITXHRM402 Lead and manage people Assessment was not conducted in accordance with the principles of assessment as the assessment was not based on evidence that demonstrated that a learner could demonstrate the skills and knowledge to: - lead by example and build positive team culture through effective leadership - monitor individual and team performance over a period of time and motivate individuals and teams to achieve optimum performance - judgement of competence was not based on evidence of learner performance aligned to the unit of competence and associated assessment of the candidate leading by example and building positive team culture through effective leadership and monitoring individual and team performance over a period of time and motivating individuals and teams to achieve optimum performance. Assessment was not conducted in accordance with the rules of evidence as the assessor did not provide records to confirm that the quality and quantity and relevance of assessment enabled a judgement to be made of the learners competence in leading by example and building Page 22 of 46

24 positive team culture through effective leadership and monitoring individual and team performance over a period of time and motivating individuals and teams to achieve optimum performance. Improvement Opportunities SI.1.5 Serve It Up Training would benefit by including research activities in student learning project assessments to access real workplace documentation. Though Serve It Up Training had provided evidence of validation of assessments, the RTO would benefit by developing a validation plan consistent with Clauses 1.9, 1.10 and 1.11 of the Standards for RTOs Page 23 of 46

25 2.1 - The RTO establishes the needs of clients and delivers services to meet these needs. The RTO had established the needs of clients and delivered services to meet these needs. Policy and Procedure 16 Selection, Enrolment, Training and Assessment Procedure. Pre-training reviews samples on student files. Policy and Procedure Student Welfare. Critical Incident Policy Page 24 of 46

26 2.2 - The RTO continuously improves client services by collecting, analysing and acting upon relevant data. The RTO had identified and implemented a strategy for the continuous improvement of client services by collecting, analysing and acting upon relevant data. Policy and Procedure 29 Continuous Improvement. Page 25 of 46

27 2.3 - Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations. Serve It Up Training had provided sufficient information, before clients enrolled or entered into an agreement, about the training, assessment and support services to be provided and about their rights and obligations. Policy and Procedure 16 Selection, Enrolment, Training and Assessment Procedure. Policy and Procedure 14 Fees, Charges and Refunds. Policy and Procedure 15 Marketing and Recruitment Standards. PTR Poster Information for trainers. Page 26 of 46

28 2.4 - Employers and other parties who contribute to each learner s training and assessment are engaged in the development, delivery and monitoring of training and assessment. The employer contributed significantly to each learner s training and assessment through the provision of work experience and was engaged in the development, delivery and monitoring of training and assessment. PP18 Assessment of Competencies External moderation PP 26 Work-based Training Agreements and venues. WBT Agreements. Improvement Opportunities SI.2.4 Serve It Up Training would benefit by reviewing procedures by which students meet the service period requirements for the Certificate IV in Hospitality, with an employer during their own organised work experience to ensure that students not in employment are adequately protected in case of injury. Page 27 of 46

29 2.5 - Learners receive training, assessment and support services that meet their individual needs. The RTO had provided sufficient support to ensure that learners received training, assessment and support services that met their individual needs. PP16 Selection, Enrolment, Training and Assessment Procedure. PP 10 Student Educational and Welfare Support Services. Interviews with 6 hospitality students Page 28 of 46

30 2.6 - Learners have timely access to current and accurate records of their participation and progress. Serve It Up had developed and implemented procedures to ensure that learners had timely access to current and accurate records of their participation and progress. PP16 Selection, Enrolment, Training and Assessment Procedure. PP 32 Records Management. Student Handbook. Improvement Opportunities SI.2.6 Serve It Up would benefit by informing students of how they can have access to current records of their participation and progress by including information in the Student Handbook. Page 29 of 46

31 2.7 - The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. Detail of evidence reviewed relating to element 2.7 Details of required rectification relating to element 2.7 Following rectification at audit, Serve It Up Training had included an internal appeals process in the Complaints procedures and clarified the source of the external mediator ACPET. Improvement Opportunities SI.2.7 Serve It Up Training had identified ACPET as the external source of mediation for students in the Student Handbook. Serve It Up Training would benefit by checking the currency of membership with ACPET if this is to be the source of external mediation for its students or to identify an alternative source of mediation, and inform students of this source. Page 30 of 46

32 3.1 - The RTO s management of its operations ensures clients receive the services detailed in their agreement with the RTO. Serve It Up Training management ensured clients received the services detailed in their agreement with the RTO. PP1 Administration and Management, Staff, Training Environment, Certificates and Statements of Attainment, Credit Transfer, Student Information. PP2 Governance Purpose, structure, company. Changes to control, management or operations. Interactions with the regulating body, management meetings. Organisation Chart. Sample of Student files. Improvement Opportunities SI.3.1 Serve It Up Training would benefit from identifying on all documentation, all qualifications and units as identified on the TGA including code and title. Page 31 of 46

33 3.2 - The RTO uses a systematic and continuous improvement approach to the management of operations. Serve It Up Training had implemented a systematic and continuous improvement approach to the management of operations. PP29 Continuous Improvement Continuous Improvement Register. Internal Audit Conducted July 2016 Page 32 of 46

34 3.3 - The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for Continuing Registration. No courses were delivered on behalf of the RTO. Page 33 of 46

35 3.4 - The RTO manages records to ensure their accuracy and integrity. Serve It Up Training managed records to ensure their accuracy and integrity. Policy and Procedure 11 Policy and Procedure 29 Continuous Improvement Policy and Procedure 32 Records Management Sample of records and documents maintained throughout the audit. Page 34 of 46

36 Detailed Findings 2016 VRQA Guidelines for VET Providers GUIDELINE An RTO ensures that where services are provided on its behalf by a third party the provision of those services is the subject of a written agreement. A third party means any party that provides services on behalf of the RTO but does not include a party to a contract of employment with the RTO. Services mean training, assessment, related educational or support services and/or any activities related to the recruitment of prospective students, but does not include student counselling, mediation or ICT support services. Serve It Up Training had ensured services provided on its behalf by Taught Recruitment for referral of potential students to Serve It Up Training were the subject of a written agreement. Contractor agreement. Register of agreements. Agreement with Taught Recruitment. VRQA Form B notifying of third party arrangement. PP 10 Monitoring of Contractors - surveys, performance review. Taught Recruitment - sighted letters to clients Feb and Mar Page 35 of 46

37 GUIDELINE 2.2 An RTO ensures that any third party delivering services on its behalf is required, under a written agreement, to cooperate with the VRQA: a) by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services; and b) for the purposes of the conduct of any audit or monitoring of its operations. Serve It Up Training had ensured that the third party delivering brokerage services on its behalf was required, under a written agreement, to cooperate with the VRQA: a) by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services; and b) for the purposes of the conduct of any audit or monitoring of its operations. Agreement 5 Contractors Obligations Register of Third Party Agreement 2016 Page 36 of 46

38 GUIDELINE 2.3 An RTO notifies the VRQA of any written agreement entered into under Guideline 2.2 for the delivery of services on its behalf: a) within 30 calendar days of the agreement being entered into or prior to the obligations under the agreement taking effect, whichever occurs first; and b) within 30 calendar days of the agreement coming to an end. Serve It Up had notified the VRQA of a written agreement entered into with Taught Recruitment through the completion and submission of Form F Recruitment to prospective students signed 6/7/2016. Declaration by PEO 8/7/2016. Form F Recruitment to prospective students signed 6/7/2016. Page 37 of 46

39 GUIDELINE 2.4 Information, whether disseminated directly by an RTO or by another party on its behalf, is both accurate and factual, including by: a) clarifying whether a third party is recruiting prospective students for an RTO on its behalf; and b) distinguishing where it is delivering training and assessment on behalf of another RTO or where training and assessment is being delivered on its behalf by a third party. Serve It Up Training had ensured that information provided by Taught Recruitment, was both accurate and factual, and clarified that they were recruiting prospective students for an RTO on its behalf. Agreement and arrangements with Taught Recruitment. Contractor Agreement accuracy of information. Third Party Application Form. Third Party Induction PowerPoint. Page 38 of 46

40 GUIDELINE Prior to the enrolment of students or the commencement of training and assessment, whichever comes first, an RTO t provides, in print or through referral to an electronic copy, current and accurate information that: a) enables the student to make informed decisions about undertaking training with the RTO and b) (at a minimum) includes the name and contact details of any third party that will provide training and/or assessment, and related educational and support services to the student on an RTO s behalf Serve It Up Training had in print current and accurate information that, prior to the enrolment of students, enabled the student to make informed decisions about undertaking training with the RTO. Agreement and arrangements with Taught Recruitment. Contractor Agreement accuracy of information. Third Party Application Form. Third Party Induction PowerPoint. Course brochures. Page 39 of 46

41 GUIDELINE An RTO has a complaints policy to manage and respond to allegations involving the conduct of: a) the RTO, its trainers, assessors or other staff; b) a third party providing services on the RTO s behalf, its trainers, assessors or other staff; or c) a student of the RTO. Serve It Up Training had a complaints policy to manage and respond to allegations involving the conduct of a third party providing services on the RTO s behalf. Complaints Procedures. Internal audit checklist. Page 40 of 46

42 GUIDELINE An RTO has an appeals policy to manage a request for the review of a decision, including an assessment decision, made by an RTO or a third party providing services on the RTO s behalf. Serve It Up had an appeals policy to manage a request for the review of a decision, including an assessment decision, made by an RTO or a third party providing services on the RTO s behalf. Complaints Procedures (See 2.7). Internal audit checklist. Page 41 of 46

43 GUIDELINE 3.1 In addition to the requirements specified in Guidelines 3.2 and 3.3, an RTO s training and assessment is only delivered only by persons who have: a) vocational competencies at least to the level being delivered and assessed; b) current industry skills directly relevant to the training and assessment being provided; and c) current knowledge and skills in vocational training and learning that informs their training and assessment. Industry experts may also be involved in the assessment judgement, working alongside the trainer and/or assessor to conduct the assessment. All trainers/assessors delivering the qualifications reviewed had: a) vocational competencies at least to the level being delivered and assessed; b) current industry skills directly relevant to the training and assessment being provided; and c) current knowledge and skills in vocational training and learning that informs their training and assessment. See Standard 1.4 Page 42 of 46

44 GUIDELINE 3.2 An RTO s training and assessment is only delivered only by persons who have the qualifications specified in Item 1 or Item 2 of Schedule 1 of these Guidelines. All trainers/assessors delivering the qualifications reviewed had the qualifications specified in Item 1 or Item 2 of Schedule 1 of these Guidelines. See Standard 1.4 Page 43 of 46

45 GUIDELINE An RTO s training and assessment strategies and practices, including the amount of training it provides, are consistent with the requirements of the training packages and VET accredited courses and enable each student to meet the requirements for each unit of competency or module in which the student is enrolled. Serve It Up had identified in the TAS for each qualification a duration and amount of training based on the student s capacity to complete the course based on days of face to face training and completion of 36 service periods in a cafe/restaurant environment. Training and Assessment Strategies and session plans for the following qualifications: BSB40812 Certificate IV in Frontline Management BSB42015 Certificate IV Leadership and Management. SIT40313 Certificate IV in Hospitality Page 44 of 46

46 GUIDELINE For the purposes of Guideline 4.1, an RTO determines the amount of training it provides to each student with regard to: a) the existing skills, knowledge and the experience of the student; b) the mode of delivery; and c) where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification. Serve It Up had provided a rationale for the amount of training and duration of each qualification delivery based on the following indicators: AQF Volume of Learning Nominal hours Holistic delivery methodology Self-paced learning components Experience of learners Employer feedback. Training and assessment strategies Session Plans Student interviews Page 45 of 46

47 GUIDELINE An RTO registered with the VRQA has provided an annual declaration of compliance with the AQTF Essential Conditions and Standards for Continuing Registration (the AQTF Standards) and these Guidelines, and in particular whether it: a) currently meets the requirements of the AQTF Standards and these Guidelines across all of its existing scope of registration; and b) has met the requirements of the AQTF Standards for all AQF certification documentation which it has issued in the previous 12 months; and c) has training and assessment strategies and practices in place that ensure that all current and prospective students are or will be trained and assessed in accordance with the requirements of the AQTF Standards and these Guidelines. Serve It Up Training had provided an annual declaration of compliance with the AQTF Essential Conditions and Standards for Continuing Registration (the AQTF Standards) and these Guidelines. Annual Declaration of Compliance submitted to the VRQA on 30/3/2016. Page 46 of 46